| 10-03356 | 01/20/2011 | Claimant(s): Anna Quindlen, Gerald Krovatin
Claimant Lawyers(s): Gerald Krovatin
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): David S. Paul
Hearing Site: New York, NY
|  | $163 |
| 09-06444 | 01/19/2011 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): Miles M. Gersh
Respondent(s): James Mitchell, John Guyette, Thomas Miller, Community Bankers Securities
Respondent Lawyers(s): James M. Mitchell, Jeffrey J. Scott, John Brady Guyette, Steven S. Biss
Arbitrator(s): James J. Moylan, Marc H. Schtul, Bradford J. Lam
Hearing Site: Denver, CO
| | $762,000 |
| 10-00883 | 01/19/2011 | Claimant(s): John Bartolomeo
Claimant Lawyers(s): John Doar
Respondent(s): Christopher Fenton, M&T Securities.
Respondent Lawyers(s): Catherine Grantier Cooley
Arbitrator(s): Jeffrey E. Stockholm, Robert J. Allen, Edward W. Morris
Hearing Site: Albany, NY
| | $30,300 |
| 10-01168 | 01/19/2011 | Claimant(s): Robert Reynolds, Susan Pitsch Reynolds, The 403-B Plan FBO Susan H. Pitch-Reynol, The Reynolds Living Trust U/A 6/14/03
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Robert B. Ericson
Arbitrator(s): Ralph B. Perry, Mary M. O'Neil, Christopher William Shaw
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02986 | 01/19/2011 | Claimant(s): Mary Cascio
Claimant Lawyers(s): Mary P. Cascio
Respondent(s): Eric Bond, National Planning Corporation
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $4,720 |
| 09-01057 | 01/18/2011 | Claimant(s): Robert Micley, IRA, The Williamstown Anesthesia MPP Plan CH, The Williamstown Anesthesia MPP Plan DM, The Williamstown Anesthesia MPP Plan RM
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Bonnie Sachs, David Boutin, David Kaplan, Ralph Worthington, Robert Maley, Gilford Securities Incorporated
Respondent Lawyers(s): Thomas E. Chase
Arbitrator(s): William S. Tagerman, Deborah B. Haskell, Irene Scharf
Hearing Site: Boston, MA
| | Stipulated Award and Expungement |
| 09-05393 | 01/18/2011 | Claimant(s): Paul Chaplin and Karen Chaplin, Wayne Chaplin and Arlene Chaplin
Claimant Lawyers(s): Scott M. Dimond
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): David M. Levine, Kevin A. Llinas, Bart Samuel Cohodas
Hearing Site: Miami, FL
| | Expungement |
| 08-02511 | 01/18/2011 | Claimant(s): Joseph Torsiello
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): AXA Advisors
Respondent Lawyers(s): Elliot R. Good
Arbitrator(s): Sheldon I. Saitlin, Ned B. Young, Charles R. Smith
Hearing Site: Boca Raton, FL
| | $0 |
| 09-01769 | 01/14/2011 | Claimant(s): Joseph Quattrocchi, Dependable Auto Body., George Tropiano IRA, Victor N. Sotra IRA, Katherine Ruotolo and Gina Ruotolo, Victor H. Stora and Lucille Stora
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Allan Levine, Andrew Gonchar, Michael Schumacher, Polyvios Polyviou, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Karen B. Estis, Michael K. Coran, Peter M. Spett, Ronald Moschetta
Arbitrator(s): Richard W. Cutler, Edith M. Gunn, Jerome M Shafer
Hearing Site: New York, NY
| | $367,388 |
| 09-06155 | 01/14/2011 | Claimant(s): John A. Winter IRA, Margie M. Winter IRA, John A. Winter & Margie M. Winter, John A. Winter 401K Plan
Claimant Lawyers(s): John Winter
Respondent(s): Robert W. Baird & Co. Incorporated, Thomas Waldkirch
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
| | $0 |
